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Head of Compliance

Job description

Sigmar are currently working with a leading Asset Manager in their search for a head of Compliance. The incumbent of this role will hold both PCF15 and PCF 39F titles and will be responsible for leading and implementing the compliance function in line with CBI regulations. 

The Head of Compliance will be responsible for: 

  • Provide on-going compliance advice and oversight to the regulated entity and internal stakeholders. 
  • Fulfil the regulatory requirements of compliance oversight and money laundering reporting officer as defined by the CBI whilst building a strong working relationship with the regulator. 
  • Work with the business to avoid or resolve breaches and violations of regulatory policies, whilst managing external reporting where required.
  • Monitor all regulatory findings to ensure any compliance risks are controlled in a timely manner.
  • Stay abreast of changes in the Irish regulatory environment; whilst educating business teams allowing them to implement necessary changes to ensure departments are fully compliant. 

Experience: 

  • Experience, within a CBI registered investment management firm with 1-2 years serving as Head of Compliance with responsibility for Anti-Money Laundering and Counter Terrorist Financing and PCF 39F – Designated Person for Regulatory Compliance.
  • Extensive knowledge of regulations applicable to Investment Management activities locally and across EMEA, especially AIFM, UCITS, MiFID and GDPR.
  • Understanding of institutional investment management, including products, investment guidelines and process, and other industry aspects in order to apply business acumen to interpretation of regulations.
  • Excellent written communication skills, including ability to write procedures, prepare formal disclosure statements and regulatory reports.
  • Ability to assess risks and controls, determine when controls are not operating effectively, and act accordingly.
  • Gravitas to interact at Executive Group & Board levels as well as ability to translate complex regulations effectively to enable business understanding and solutions implementation
  • Track record of designing and implementing successful training experiences

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